How to Track and Locate CUSIPs for Specific Securities or Legal Matters

A CUSIP (Committee on Uniform Securities Identification Procedures) number is a unique 9-character alphanumeric code used to identify financial securities such as stocks, bonds, and other investment instruments. These identifiers help financial institutions track transactions, facilitate settlements, and ensure regulatory compliance. However, tracking a CUSIP tied to a court case, government bond, or other legal financial instruments requires specific research methods.

In this guide, we will walk you through the steps to track and locate a CUSIP number, whether it pertains to a security, a financial instrument, or even a court case.

CUSIP numbers are managed by CUSIP Global Services (CGS), which operates under S&P Global Market Intelligence.

✅ Visit the Official CUSIP Global Services Website: https://www.cusip.com
✅ Use the CUSIP Access Portal (Requires Registration & Subscription)
✅ Search by security name, ticker symbol, or issuer

💡 Note: CUSIP lookups require a paid subscription, but financial professionals, brokers, and institutions typically have access.

If the security is publicly traded, its CUSIP may be found in Securities and Exchange Commission (SEC) filings.

✅ Visit the SEC’s EDGAR Database: https://www.sec.gov/edgar/searchedgar/companysearch.html
✅ Search by company name or ticker symbol
✅ Look in Annual Reports (10-K), Prospectuses (S-1, S-3), and Registration Statements for CUSIP listings

💡 Note: This method applies to stocks, corporate bonds, and investment funds registered with the SEC.

The Financial Industry Regulatory Authority (FINRA) provides a CUSIP lookup for corporate and municipal bonds.

✅ Visit the FINRA Market Data Center: https://www.finra.org/
✅ Click on Bond Market Data → Fixed Income Securities Search
✅ Enter the bond issuer’s name to locate active and historical CUSIP listings

💡 Note: This method works only for bonds traded in U.S. markets.

If you hold an investment account, your broker or financial institution should be able to provide CUSIP information.

✅ Contact your bank, brokerage firm, or investment advisor
✅ Ask for the CUSIP of a specific stock, bond, or mutual fund
✅ Some banks provide CUSIPs in trade confirmations or account statements

💡 Note: Some brokers may only disclose CUSIPs to account holders.

For municipal bonds issued by states, cities, or public agencies, the Electronic Municipal Market Access (EMMA) system provides CUSIP numbers.

✅ Visit the EMMA Website: https://emma.msrb.org/

✅ Search for municipal bonds using issuer name, bond type, or issue date

💡 Note: This method works only for publicly issued municipal bonds.

Some CUSIP numbers are tied to court-related financial instruments, such as surety bonds or other government-backed securities.

If the CUSIP is linked to a court-related bond, it may be referenced in official court filings, case dockets, or financial records.

✅ Contact the clerk of court where the case was filed
✅ Request information about any financial instruments or bonds tied to the case
✅ If a surety bond or other financial instrument was issued, ask for details on how it was processed

💡 Note: Some courts may classify these records as restricted financial documents, making them difficult to obtain without legal authority.

If a CUSIP is linked to a government surety bond, the General Services Administration (GSA) may have records.

✅ Visit the GSA’s Surety Bond Search Tool: https://www.gsa.gov/
✅ Look for bond issuance records related to federal or state cases

💡 Note: Access may be restricted to government agencies or authorized financial institutions.

• Freedom of Information Act (FOIA), 5 U.S.C. § 552: Grants the right to request access to federal agency records, including financial transactions related to legal cases.
• Privacy Act of 1974, 5 U.S.C. § 552a: Protects individuals’ rights to access and request corrections to records about them held by federal agencies.
• Uniform Commercial Code (UCC) § 3-305 & § 8-102: Establishes rights regarding financial instruments and the ability to inspect financial records pertaining to obligations and securities.
• State Public Records Laws: Grants access to court financial documents, case bonds, and related securities.

Tracking and locating CUSIPs requires legitimate access through financial, legal, or government channels. While public CUSIPs can be found through SEC filings, FINRA, and EMMA, private securities require subscription-based access or authorization from financial institutions.

If you need help with a specific CUSIP lookup, let us know, and we’ll guide you through the best approach!